Copyright is owned by the Author of the thesis. Permission is given for a copy to be downloaded by an individual for the purpose of research and

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1 Copyright is owned by the Author of the thesis. Permission is given for a copy to be downloaded by an individual for the purpose of research and private study only. The thesis may not be reproduced elsewhere without the permission of the Author.

2 Cleared to Disconnect? A Study of the Interaction between Airline Pilots and Line Maintenance Engineers A thesis presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Aviation Tahlia Jane Fisher 2016

3 To those who fly aeroplanes and those who maintain them

4 Abstract Accurate information regarding the maintenance status of an aircraft is essential for safe and efficient airline operations, yet there is evidence to suggest that pilots and line maintenance engineers do not always communicate effectively with each other. To date the majority of this evidence has been anecdotal, and formal studies have focused primarily on the shortcomings of the aircraft logbook as a communication medium. Despite the notion that poor communication between these two groups can potentially have undesirable consequences, there has been little discussion about how this might manifest within an airline environment. The studies undertaken for this research examined three distinct aspects of the pilot-maintenance interface: 1) the intergroup relationship between airline pilots and line maintenance engineers, 2) operational radio communications between airline pilots and line maintenance engineers, and 3) the effects of deficient pilot-maintenance communication on aircraft operations and flight safety. Thematically analysed discourse from a series of focus groups held at a large New Zealand airline, found that communication difficulties are primarily the result of an interrelating set of organisational, physical and psychosocial barriers, all of which influence the nature of the intergroup relationship between pilots and line maintenance engineers. The use of Interaction Process Analysis (IPA) to examine radio calls between pilots and maintenance personnel identified that while the two groups share similar communication patterns and styles, indications of these barriers were present within their communication exchanges. The effects of deficient communication were then examined using data from the United States Aviation Safety Reporting System (ASRS). Using Correspondence Analysis (CA) to map associations between deficient pilot-maintenance communication and adverse outcomes, evidence was found that poor communication can be associated with both schedule disruptions and potential safety ramifications. Ultimately, this research has important implications for airlines, particularly given the degree to which organisational factors can influence the efficacy of communication between these two groups. In light of the findings which suggest that problematic interactions between pilots and maintenance personnel can have both commercial implications and pose a threat to flight safety, it is recommended that airlines give consideration to facilitating joint Crew Resource Management (CRM) training for these two groups. i

5 Acknowledgements I would firstly like to thank my supervisors Dr Ross St George, Dr Ritchie de Montalk and Dr Richard Batt. Conducting a PhD in a part-time capacity has its fair share of challenges so thank you for your continual guidance, expertise and, in particular, your patience (Ross!) with this project, especially when I had to press pause not once, but twice to have children. Juggling research, fulltime work and two small boys was no mean feat but you never lost faith in me and provided me with steady encouragement and reassurance throughout. A special thanks must be made to you Richard. When I told you about my idea for this research having only just met, you could have simply wished me good luck. Instead you offered your time, knowledge, and wonderfully considered feedback, all from afar, whilst busy with your own work and family commitments. Thank you for that. I wish to acknowledge the New Zealand division of the Royal Aeronautical Society, the New Zealand Aeronautical Trusts and in particular the family of Ian Diamond who so generously honour Ian s longstanding commitment to aviation engineering with the Ian Diamond Memorial Scholarship to which I was the inaugural recipient. Thank you to all those pilots and engineers who took part in my research. I am especially grateful to the Chief Pilot who facilitated the participant airline s sponsorship of this research as well as access to the personnel and data required for two of my three studies. I am immensely indebted to my manager, Alan, who not only allowed me the time I needed to complete this work, but who has always continued to ensure that the well-being of my family and I come first and foremost. A special thanks must also go to Murray your insights into the world of aviation maintenance provided me with the humourous motivation I needed at times. Of course a big thank you must be made to all my family who have continually supported me in this lengthy journey. I could not have done this without your help, particularly once the boys arrived halfway through. Thank you for the countless hours of babysitting you undertook to facilitate my study. To my parents, I can only say that the fact I signed up to an undertaking as daunting as a PhD is a reflection of the continual encouragement I received throughout my childhood that I could do anything I set my mind to. Finally, I must express my immeasurable gratitude to my husband Andrew who more than anyone understands the magnitude of this venture and the demands it has made on our family life. While undertaken with the best of intentions, the pursuit of knowledge is mercenary with time. For all those days I missed with you and the boys because of study time that can never be reclaimed - I thank you for being so forgiving. ii

6 Contents Abstract... i Acknowledgements... ii Table of Contents... iii List of Tables... vii List of Figures... ix Glossary of Aviation Terms... xi CHAPTER ONE: INTRODUCTION Background to the Study Purpose of the Study Methodological Considerations Outline of the Thesis CHAPTER TWO: THE STUDY CONTEXT Regulation of Aviation Maintenance Activities in New Zealand Types of Maintenance The Line Maintenance Environment Line Maintenance Functions The Role of Maintenance Control Aircraft Turnarounds A Typical Transit Check Flight Crew Walk-Around Check The Aircraft Technical Log The Deferral Process The Minimum Equipment List Aircraft Release and Acceptance to Service The Participant Airline CHAPTER THREE: LITERATURE REVIEW Part I: Communication in Aviation 3.1 Flight Crew Communication Training From Cockpit to Crew : The Expansion of CRM Training Communication Training for Aircraft Maintenance Engineers Summary Part II: Teamwork in the Line Maintenance Environment 3.5 Communication Media The Technical Log Voice-Only Channels Face-to-Face Communication Implications of Ineffective Line Maintenance Communication Aircraft Defect Rectification Despatch and On-Time Performance Accidents, Incidents and Safety Implications iii

7 3.7 Summary Part III: A Critical Review of Previous Research 3.8 Overview of the Literature relating to Pilot-Maintenance Communication The Purdue Pilot Studies: Hints of a Problematic Interface The Purdue Industry Survey: an Insight into Perceptions Munro and colleagues: Investigation of the Logbook Summary Part IV: A Social Identity Perspective 3.10 Social Identity Theory and Social Categorisation of Organisational Groups Social Identity Theory and Categorisation Social Categorisation between Work Groups The Influence of Social Identity on Communication Intergroup Relations and Work Performance Effects of Conflict on Highly Specialised Teams Improving Intergroup Relations Common Identity Model Contact Hypothesis Superordinate Goals Summary Part V: Conclusions 3.14 Summary of the Literature Review Identification of the Research Questions CHAPTER FOUR: IMPEDIMENTS TO EFFECTIVE COMMUNICATION BETWEEN AIRLINE PILOTS AND LINE MAINTENANCE ENGINEERS Method Research Design Sample Group Composition and Number of Sessions Number of Participants Focus Group Guide Procedure Analysis Thematic Analysis of Focus Group Transcripts Analysis of Assigned Characteristics and Traits Results In-Group and Out-Group Attributes Descriptions of the In-group Descriptions of the Out-Group Thematic Analysis of Focus Group Discussions Communication Issues between Pilots and Line Maintenance Engineers Intergroup Relationship between Pilots and Line Maintenance Engineers Discussion iv

8 4.6.1 Issues affecting Communication Issues affecting the Intergroup Relationship Summary CHAPTER FIVE: INTERACTION ANALYSIS OF COMMUNICATION BETWEEN AIRLINE PILOTS AND LINE MAINTENANCE ENGINEERS Method Research Design Research Procedure Data Collection Data Preparation Data Coding Analysis Results Characteristics of the Audio Files Aircraft Type Length of Call Readability of Call Tone of Speakers Purpose of Call Interaction Process Analysis Speaking Lengths Distribution of Question Types Interruptions, Cut-Offs and Talk-Overs Requests for Repetitions Clarification Requests Use of Back-channel Responses Subject of Call Interaction Process Analysis Outcomes Discussion Communication Ability Communication Medium Sources of Conflict Themes affecting the Intergroup Relationship Summary CHAPTER SIX: OPERATIONAL AND SAFETY-RELATED IMPLICATIONS ASSOCIATED WITH PILOT-MAINTENANCE INTERFACE ISSUES Method Research Design Data Source Research Sample Data Coding Analysis and Interpretation Results Issues Reported v

9 6.3.2 Report Outcomes Correspondence Analysis Discussion Operational Impacts Impacts on Safety Effects of Conflict Summary CHAPTER SEVEN: GENERAL DISCUSSION Impediments to Effective Communication between Airline Pilots and Line Maintenance Engineers The Role of the Communication Medium Organisational Factors can create and sustain Psychosocial Barriers The Aircraft Turnaround: Superordinate or Interdependent Goal? Effects of a Problematic Interface between Airline Pilots and Maintenance Personnel Implications for Airlines Implications for Flight Safety Joint CRM Training in Support of the Contact Hypothesis CHAPTER EIGHT: CONCLUSIONS Summary of the Research Implications, Limitations and Recommendations Final Overview REFERENCES Appendix A: Focus group interview schedule Appendix B: Focus group information sheet Appendix C: Pilot in-group descriptions Appendix D: Pilot out-group descriptions Appendix E: Engineer in-group descriptions Appendix F: Engineer out-group descriptions Appendix G: IPA sample transcript Appendix H: Friendliness Scale Appendix I: IPA results using the Mann-Whitney U test Appendix I: Sample ASRS report with associated codes Appendix J: Development of the CA model vi

10 List of Tables Table 2.1 Characteristics of scheduled and unscheduled maintenance Table 3.1 Five-Factor Model of Communication Barriers Table 3.2 Maintenance errors associated with the loss of Nationair DC Table 3.3 Studies pertaining to pilot-maintenance communication Table 4.1 Participant makeup and length of focus group sessions Table 4.2 Agreement between researcher and rater for pilots describing pilots 132 Table 4.3 Agreement between researcher and rater for engineers describing engineers Table 4.4 Agreement between researcher and rater for pilots describing 134 engineers Table 4.5 Agreement between researcher and rater for engineers describing pilots Table 4.6 Number of attributes assigned by each group Table 4.7 Nature of attributes used by pilots when describing themselves Table 4.8 Nature of attributes used by engineers when describing themselves Table 4.9 Nature of attributes used by pilots when describing engineers Table 4.10 Nature of attributes used by engineers when describing pilots Table 5.1 Source of audio files Table 5.2 Number of calls by aircraft type Table 5.3 Total length of calls from each audio source Table 5.4 Readability of audio files by source Table 5.5 Friendliness of pilots for all calls Table 5.6 Friendliness of line maintenance engineers for all calls Table 5.7 Purpose of calls to Line Maintenance on VHF 131.9MHz Table 5.8 Distribution of question types between pilots and line maintenance engineers Table 5.9 Total number of interruptions by pilots and line maintenance engineers Table 5.10 Total number of repetition requests made by pilots and line maintenance engineers Table 5.11 Total number of clarification requests made by pilots and line maintenance engineers Table 5.12 Total number of back-channel responses made by listening party Table 5.13 Subject of call Table 5.14 IPA scores for 107 pilot/line maintenance engineer interactions Table 5.15 IPA results for pilots and line maintenance engineers Table 5.16 Distribution between task-based and socioemotional interaction categories Table 5.17 Distribution of interaction across problem-solving functionalities Table 5.18 IPA category speech acts by frequency of use Table 6.1 Category A Codes: Reported Issue Table 6.2 Category B Codes: Outcomes Table 6.3 Pilot-Maintenance reported issues and outcomes in ASRS incidents January 2005 to January Table 6.4 Summary table for final CA model Table 6.5 Contributions of row and column points to model dimensions vii

11 Table 6.6 Issues reported concerning the pilot-maintenance interface Jan 2005-Jan Table 6.7 Outcomes relating to pilot-maintenance interface issues Jan 2005-Jan viii

12 List of Figures Figure 1.1 Heinrich Model: for every visible event of a serious nature, there are many more events which may share similar latent conditions... 8 Figure 2.1 Line maintenance deferral process Figure 2.2 Passenger handling and aircraft servicing activities for a 35 minute turnaround on a domestically operated B Figure 2.3 Typical transit check for a twin engine jet Figure 2.4 Pre-flight inspection walk-around flow Figure 2.5 An aircraft technical log Figure 2.6 Example of a MEL for an aircraft s wing anti-icing system Figure 3.1 Crew Resource Management: a dedicated subset of Non-Technical Skills focusing on the interpersonal techniques required to Promote an effective flight deck dynamic Figure 3.2 Communication can be distorted by social influences Figure 3.3 Media Richness Hierarchy Figure 3.4. Stages of an organisational accident Figure 4.1 Semantic differential scale used to rate attributes of pilots and engineers Figure 4.2 Comparison of pilots describing the in-group (pilots) and out-group (engineers) Figure 4.3 Comparison of engineers describing in-group (engineers) and out-group (pilots) Figure 4.4 Terminology differences can impede both communication function and a healthy intergroup relationship between pilots and line maintenance engineers Figure 4.5 The types of media used to communicate can impede effective communication between pilots and line maintenance engineers Figure 4.6 Problems with operational documentation such as the MEL can exacerbate traditional intergroup relationship issues Figure 4.7 A negative perception of the out-group impedes a healthy intergroup relationship between pilots and line maintenance engineers Figure 4.8 Lack of contact between pilots and line maintenance engineers contributes to negative perceptions of the out-group Figure 4.9 OTP pressures, lack of a formal aircraft handover and no opportunity for classroom time together mean pilots and line maintenance engineers have very little contact with each other Figure 4.10 Conceptual framework of impediments to effective communication between flight crew and line maintenance engineers Figure 5.1 Bales IPA Categories Figure 5.2 Length of calls by source Figure 5.3 Readability of all calls rated on FRTO scale Figure 5.4 Tone of speaker during 362 operational calls between airline pilots and line maintenance engineers Figure 5.5 Length of speaking time during interactions Figure 5.6 Distribution of speech during interactions Figure 5.7 Questioning technique used by pilots and engineers during 107 operational calls Figure 5.8 Frequency distribution of interruptions per conversation ix

13 Figure 5.9 Frequency distribution of requests for speaker to repeat themselves per conversation Figure 5.10 Frequency of clarification requests by either speaker per conversation Figure 5.11 Frequency of back-channel responses per conversation Figure 5.12 Interaction Profiles of Pilots and Line Maintenance Engineers for 107 interactions Figure 5.13 Interaction Profile of operational radio communication compared with Bales suggested medium range Figure 5.14 Evidence of poor intergroup communication supports the concept of a vicious cycle Figure 6.1 Row Point Display for Reported Issue Figure 6.2 Column point display for Outcome Figure 6.3 Correspondence plot of pilot-maintenance interface issues and outcomes Figure 6.4 Different issues identified within the dataset appear to contribute to Figure 7.1 adverse events in distinct ways Relationship between organisational, physical and psychosocial barriers Figure 7.2 Problems associated with the logbook and MEL provide an opportunity for an adverse safety outcome. However, a poor intergroup relationship is a significant latent condition Figure 7.3 Joint CRM training for pilots and engineers may provide a defence against the issues that result from a poor flight crew-maintenance communication x

14 Glossary of Aviation Terms AAIB ACARS AME AMEL AMT AOA AOG AQP ASRS ATC ATPL ATSB BASI CAA CAANZ CAR CASA CRM DDG EGPWS EGT FAA FO FOD GPWS HF ICAO IDG LAME MEL MHz MOC MRM NATS NIGS NTS NTSB OTP NASA PF PM PIC QRH RTF SatPhone TAG TAT VHF Air Accidents Investigation Branch (UK) Aircraft Communication Addressing and Reporting System Aircraft Maintenance Engineer Aircraft Maintenance Engineer Licence Aircraft Maintenance Technician Angle of Attack Aircraft on Ground ( grounded due to a defect) Advanced Qualification Program Aviation Safety Reporting System Air Traffic Control Air Transport Pilot Licence Australian Transport Safety Bureau Bureau of Air Safety Investigation (Australia) Civil Aviation Authority (UK) Civil Aviation Authority of New Zealand Civil Aviation Rules (NZ) Civil Aviation Safety Authority (Australia) Crew Resource Management Dispatch Deviation Guide Enhanced Ground Proximity Warning System Exhaust Gas Temperature Federal Aviation Authority (United States) First Officer Foreign Object Damage Ground Proximity Warning System High Frequency International Civil Aviation Organization Integrated Drive Generator Licenced Aircraft Maintenance Engineer Minimum Equipment List Mega Hertz Maintenance Operations Control / Maintenance Operations Centre Maintenance Resource Management National Air Traffic Services (UK) Nose-In Guidance System Non-Technical Skills National Transportation Safety Board (US) On-Time Performance National Aeronautics and Space Administration Pilot Flying Pilot Monitoring Pilot in Command Quick Reference Handbook Radio Telephony Satellite Phone Trans-cockpit Authority Gradient Total Air Temperature Very High Frequency xi